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Compliance Transformation Officer

4 weeks ago

Jersey City, New Jersey, United States Sumitomo Mitsui Financial Group, Inc. Full time
Compliance Transformation Officer

Sumitomo Mitsui Financial Group, Inc. is seeking a highly skilled Compliance Transformation Officer to join our Compliance Department Americas Division (CPAD). This team focuses on several key compliance risk types, including consumer compliance, investment banking related compliance, conduct, regulatory compliance, reputation, strategic, and technology risk.

Key Responsibilities:
  • Deliver project goals and objectives within established timeframes and budgets
  • Ensure key project documentation is prepared, reviewed, and stored in the central database
  • Primary focus is day-to-day operational execution of transformation initiatives and contributing to strategic planning within area of expertise
  • Supports development and execution of business plans, policies, and procedures, as well as oversees assigned workstreams/projects to improve efficiencies
  • Manages compliance-driven initiatives and/or processes requiring close partnership with compliance and/or audit functions
  • Leverages data to evaluate workstream progress and overall project success, identify trends to anticipate issues, develop alternative solutions, and escalate risks
  • Applies risk-focused planning for team initiatives, investigations, and continuous improvement plans
  • Participates in management and maintenance of a strong change control process throughout project duration
  • Leads strategic planning sessions and facilitates production of workstream deliverables
  • Leads project planning and governance sessions
  • Proactively solicits feedback from stakeholders and partners prior to finalizing project-related deliverables
  • Develops strong and influential relationships across senior levels of an organization and manages/leads project teams and multiple work streams in a changing environment
Requirements:
  • Bachelor's Degree required; Advanced Degree highly preferred
  • 2-4 years progressive experience in Project/Program Management
  • Effective oral and written communications
  • Ability to work effectively and engage across functional areas
  • Ability to partner effectively with cross-functional (technical and non-technical) stakeholders
  • Strong knowledge of business process management or financial services industry experience, including direct experience in compliance and/or operational risk management
  • Experience working in a Compliance-Risk & Control setting in a large, diversified financial institution
  • Demonstrates teamwork and ability to listen, share, and cooperate
  • Effectively drives the execution of plans and tracking to closure
What We Offer:

SMBC's employees participate in a Hybrid workforce model that provides employees with an opportunity to work from home, as well as from an SMBC office. SMBC requires that employees live within a reasonable commuting distance of their office location. Prospective candidates will learn more about their specific hybrid work schedule during their interview process. Hybrid work may not be permitted for certain roles, including, for example, certain FINRA-registered roles for which in-office attendance for the entire workweek is required.

We are an equal employment opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, gender, national origin, disability status, protected veteran status, or any other characteristic protected by law. SMBC provides reasonable accommodations for employees and applicants with disabilities consistent with applicable law. If you need a reasonable accommodation during the application process, please let us know.